See www.auditing-roundtable.org for more information on regional meetings, webinars, training courses, and collaborations with other professional organizations.  The AR’s Managing Director, Kathy J. Rieth, is at kathy@auditing-roundtable.org or 480-659-3738.  See www.beac.org for more on CPEA certification.  

 

Monday, January 11, 2010   -  Moderator:  Douglas Hileman, Douglas Hileman Consulting LLC
7:30 AM	Breakfast – Newcomers, Buddies and Old Friends
8:00 AM	Opening Remarks
	Rob Bray, President, The Auditing Roundtable
8:15 AM	Keynote:  Marcia Philpott, SRP
	Risk Management:  a Critical Role in Our Organizations Risk and Insurance Management Society (RIMS) The Risk and Insurance Management Society (RIMS) is the pre-eminent professional association for risk and insurance managers.  RIMS professionals follow regulations and trends in risk management for everything that affects their companies and clients – including EHSS.  The keynote speaker will share perspectives on risk management as often provided to CEOs, CFOs, and Boards of Directors, setting the stage for discussion of risk management as applied to EHSS for the balance of this meeting.
8:45 AM	Panel :  Risk and Insurance Management – Fundamental Principles
	Using Enterprise Risk Management Tools to Solve EHS Problems - Charles Gray, Bickmore Risk Services.  This session will address the concepts of Systems Theory and how they apply to the fundamentals of risk management problem solving.  The session will show how the principles apply cross the enterprise and to the various types of risk including strategic, operational, regulatory, financial, reputational, EH&S, and pure property and casualty risk.   Aligning EHSS "Risk" Definitions with Internal Risk Management - Lawrence Heim, The Elm Consulting Group International, LLC The presentation discusses aligning EHSS "risk" definitions with internal risk management, then applying those definitions to audit scopes and corrective action identification and prioritization. Other documents/concepts to include in audits when looking at "risk" versus compliance or systems; assessing EHSS risk using two dimensions (frequency/severity) to identify the most appropriate corrective actions; and tracking risk reduction will be detailed with examples provided.   Financial Auditor Perspective on Risk Management:  Every functional group has had to respond to the financial challenges since Fall 2008.  Financial auditors follow policies, guidance, and requirements from the Securities and Exchange Commission, the Financial Accounting Standards Board, and other entities that impose new requirements, standards, and procedures.  Some of these trickle down to affect EHSS management or auditing.  This presenter will discuss how Risk Management is viewed by financial auditors, and recent pronouncements or discussions by financial regulatory entities.    A 20-minute break will follow this session.
10:15 AM	Panel:  EHSS Auditing of Risk-Oriented Topics
	Using Job Safety Analysis to Optimize Safety and Environmental Systems - Anton du Preez, J Connor Consulting The purpose of EHS management systems is to influence activities and behaviors at the point of operation.  Since a JSA consists of the identification o risks and the selection of controls, it provides management with an opportunity to evaluate the impact/s of the EHS system at the point of task execution.  The paper will show how focusing on the analysis of JSA content and the implementation of corrective actions based on such analysis has increased the safety of personnel.  This study was performed over an 18 month period on 20 facilities in the Gulf of Mexico.  The technique used in the analysis provides management with a stronger focus on risk exposure in the management of the EHS systems.   Management of Change - Joel Olener, Process Safety and Security International Process Safety Management (PSM) and Risk Management and Prevention Programs (RMPPs) are all about risk management.  Compliance and operations failures often occur when consequences and requirements of changes have not been sufficiently addressed.  This presentation will address Management of Change (MOC), especially as applied to PSM and RMPP, and with other examples from EHSS.  The presentation will also discuss the elements of a strong management of change process.   Using Risk Assessment Methodologies to Influence Environmental Auditing Programs- Anna Peteranecz, Shaw Group Risk Assessment provides many tools and techniques that apply to Environmental management and auditing.  This speaker presents several ways risk assessment methodologies can be used to make strategic decisions relative to Environmental compliance and auditing programs.   The New Private Sector Preparedness Certification: Potential Role for Assessing Supply Chain Resilience - Karen Coyne, NYU In an era of just in time inventory policies and increasing outsourcing, firms are concerned about the preparedness of suppliers, especially those who provide mission-critical resources.  A key aspect of risk management for any firm is increasing resilience and preparedness of the organization and its key suppliers. The new voluntary Private Sector Preparedness (PS-Prep) Accreditation and Certification Program may provide the key to efficiently and effectively addressing this vulnerability.  This presentation will provide an update on the PS-Prep Certification program, and discuss the rollout of a consortium to pilot PS-Prep. A link to the draft of the recently released Supply Chain Working Group Summary Proceedings on PS-Prep will also be provided.
12:00 PM	Lunch
1:30 PM	A Risk-based Approach to Auditing Legal and Regulatory Compliance in Global Operations - Michael Green, BP & Elizabeth Cunningham, BP
	Auditing (the checking within the plan-do-check-act management system framework) is a critical component of any management system.  This paper will discuss an approach for auditing regulatory compliance using the principles and concepts encompassed within BP’s Safety and Operations (S&O) audit program.  Discussion will focus on the identification of regulatory risk and how regulatory risk mitigation can be incorporated into audit programs.  The approach will be illustrated through case studies.
2:15 PM	Panel:  Using Risk Management Principles for Standard EHSS Auditing Programs
	Quantitative Methods to Improve EHS Compliance - Subhash C. Vaidya, Navistar, Inc. Expanding audits beyond compliance can help improve programs and reduce injuries.  Quantitative methods have been used to focus efforts where improvements are most needed.  The integration of health, safety, and productivity can improve quality, and improve health, and reduce company’s total costs.  Looking at individual components, setting goals, and managing on the basis of effective analyses of trends helps gain management confidence and involves the entire corporation on the effort.    General Counsel Roundtable’s Risk Assessment - Dave Einolf, Endeavour EHS LLC The GCR Risk Assessment Tool is based on the principles of compliance with Sarbanes-Oxley (SOx) and can be successfully applied to EHS risks.  This presentation will outline the GCR Risk Assessment tool, and a methodology to apply this tool to the operations of a major retail and distribution company with more than 1000 locations.  The presentation will include examples of how the client assessed compliance resource needs and address key compliance areas in a systematic fashion.   GEMI Tools for Risk Management and EHSS Auditing – R. Steve Rutledge, CEHS, Duke Energy (Invited) The Global Environmental Management Initiative (GEMI) has developed a family of interactive tools to help companies in various aspects of Environmental and Sustainability management.  This presentation will provide an overview of the family of tools (Future Forces Affecting Sustainability, Continual Improvement of EHS Information Management Systems, GEMI Metrics NavigatorTM, and others).  Wednesday morning, there will be a longer workshop on one of the tools.
3:00 PM	Open Mike & Vendor Showcase
	Open Mike is the opportunity for attendees to announce upcoming events, seminars, or other matters of interest.  Attendees often pose questions and solicit interest in workgroups.  Vendors are a key factor in the long-term success of the Auditing Roundtable – and in keeping our meeting fees reasonable.  We invite a few to share their perspectives on current issues and trends, and the kinds of questions, innovations, and solutions they see in the profession.  Low-key and informative. Enhesa, Conformance Check, Dakota Software, Citation Technologies & BNA
3:30 PM	A Word From Our Collaborators – and our Work With Them Moderator:  Doug Hileman, Douglas Hileman Consulting (and AR Board Member)
	The Auditing Roundtable is collaborating with more groups dedicated to Environmental, Health & Safety, and Sustainability.  We are sharing the importance of the professional practice of EHS/S auditing, and learning more about developments and professional practices in their fields.  In this session, we’ll hear from several of these groups.  Doug Hileman, as a leader of the Board’s External Affairs Committee, will provide an update on activities with other groups.   Expected to participate: ·         Institute of Internal Auditors (www.theiia.org) ·         American Industrial Hygiene Association (www.aiha.org) ·         World Resources Institute (www.wri.org) ·         Association of Hazardous Materials Professionals (www.ahmp.org) ·         American Society of Safety Engineers (www.asse.org) ·         PEW Center on Global Climate Change (www.pewclimate.org)
4:00 PM	Breakout Sessions Can’t decide?  Don’t worry – each section will report to the plenary session Wednesday morning.
Venue A:   International Interest Work Group:   Paul Beatley, ENHESA				Venue B:  Legislative/Regulatory Interest Group: Gary Lucks, Beyond Compliance		Venue C: Supply Chain Resilience: Karen Coyne, NYU
4:45 PM	Industry Roundtables Can’t decide?  Don’t worry – each section will report to the plenary session Wednesday morning.
These sessions provide an opportunity for industry groups to share – in a traditional roundtable format – specific topics that are affecting their industry sectors.  These sessions are held concurrently.  Each group has a leader, and will offer some perspectives on a current topic affecting EHS/S auditing in the sector.  The group will select from a group of “seed questions” and will engage in facilitated discussion.  Attendees are encouraged to come prepared, with perspectives and contributions, or with questions – or both!  This is among the most popular features of our meetings, but success depends upon attendee participation.
Venue A: Energy (Includes Oil & Gas) and Mining Laura Daniel, Crescent Technology, Inc. & Vic Carlstrom, ExxonMobil		Venue B: Utilities Robert Kloepfer, ERM	Venue C: Biotech, Pharmaceuticals & Health Care Mike Cycyota, Baxter International		Venue D: Chemicals, Paper & other General Industry (Includes Transportation) Joel Olener, Process Safety and Security International		Venue E: Consumer Products & Retail Services
6:15 PM	Adjourn for the Day
6:15 PM	Reception at Aunt Chiladas (Salsa/Margarita Challenge)

 

 

Tuesday January 12, 2010  MC:   Andrew Broadbent, Sunoco Inc.
7:30 AM		Board and Committee Meet & Greet.  (And Eat) Board members will attend and (8 AM) give brief remarks on standing Committees (Meetings, Finance, External Affairs, etc.).  Ask questions, offer suggestions.  Volunteer – we need you.
8:15 AM		Keynote: Ken Atha, OSHA
9:00 AM		Panel Title:  Laws, Regulations, Standards
		The Fall 2009 Meeting focused on Laws, Regulations, and Standards.  There was an abundance of material – and since these drive much of EHSS auditing, we offer more presentations on LRS of interest to EHSS auditors.    Green Chemistry in California – Precursor to “U.S. REACH”? – Gary Lucks, J.D., CPEA, Beyond Compliance LLC California – often a bellwether of regulations to come - passed AB 1879 (Feuer) and SB 509 (Simitian) in 2008, setting in place some recommendations of California’s Green Chemistry Initiative.  There are discussions of reauthorizing the Toxic Substances Control Act (TSCA), incorporating some practices of the European Union’s REACH (Registration, Evaluation, Authorisation of Chemicals).  This presentation will cover California’s Green Chemistry initiative, new and proposed regulatory requirements.     Current and Upcoming Compliance Issues Under TSCA -  Duane Siler , Crowell & Moring TSCA presents unique opportunities and challenges for compliance assurance.  This presentation will focus on key legal concepts that govern use of chemicals under TSCA. These include the definition of a "chemical substance;" requirements for Pre-Manufacture Notices and associated exemptions; and compliance with Significant New Use Rules.  More specialized compliance issues that can present auditing challenges will also be addressed.  These include obligations arising under TSCA in mergers and acquisitions; recordkeeping and reporting requirements associated with receipt of new information about adverse reactions to chemicals and/or human health risks; and rules for importation of chemicals. This presentation will also preview expanded compliance obligations under EPA's recently announced "enhancements" to the TSCA chemical management program. These include extensive new reporting requirements for chemical manufacturers and processors, as well as a planned rule requiring companies to report comprehensive data for some nanoscale chemical substances.   Update on RCRA and DOT - Barbara Jo Ruble, STC Inc. In October 2008, EPA modified the definition of "Solid Waste" to exclude certain materials that are being reclaimed from regulation as hazardous waste.  Some states have adopted this rule while others have excluded it. This presentation will describe the current status and how this exclusion may apply to your operations.  Also, in June 2009, DOT issued an important letter of interpretation changing their previous position on the use of the Reportable Quantity designation on shipping papers for certain hazardous wastes; this presentation will describe how to make sure your waste manifests are in compliance.
11:15 AM		Risk and EHSS Auditing:  Continued!
		Auditing Claims and Assertions – Douglas Hileman, Douglas Hileman Consulting LLC Companies make claims and assertions about their products, code of conduct, policies, and performance.  The demand for transparency in EHSS has led companies to make more claims and assertions regarding EHSS performance – and to more stakeholders – than ever.  This presentation addresses how EHSS auditors can use the risks posed by claims and assertions to apply auditing skill sets to expand the reach of EHSS auditing, revise programs, adjust auditing scope, and provide greater value to companies.      Case Study:  Nova Chemicals Approach to Risk Based EHS Auditing - Mark Schwarz, Nova Chemicals If management commitment and traditional auditing result in consistently superior performance, does is traditional auditing still the preferred auditing activity?   A move away from traditional auditing to a risk-based approach delivers increased value to those high performing facilities.  This presentation is a case study of one company’s risk-based approach – how the company identified critical topics, and the current approach to review of programs and practices.   Injury and Illness Reporting Practices - Herman Woessner, Woessner Enterprise, LLC Despite being a regulatory requirement for 30 years, many companies make mistakes in classifying, reporting and recording work related injury/illness cases.  This can expose companies to safety, regulatory and financial risks, and inhibit the effectiveness of their safety management system.  This presentation examines common mistakes, the risks they pose – and offers tips on how to identify and correct these errors.
12:30 AM		LUNCH
1: 30 PM		Survey Says!
		The Auditing Roundtable will post a short survey on the website in December 2009.   Survey results will be presented. Scott Rois, Georgia-Pacific
1:50		Using Audits to Rebuild Regulatory Relationships: K Dirk Berard, Director, HSE Compliance Assurance Honeywell International & Henry Darwin, Deputy Director, AZ Dept of Environmental Quality Using Audits to Rebuild Regulatory Relationships – In an engaging joint-presentation, representatives from Honeywell Aerospace (Dirk Berard) and the Arizona DEQ (Henry Darwin) will discuss how a voluntary environmental compliance audit program was instrumental in reversing a decade-long adversarial relationship and facilitated a significant ($6 million) but favorable enforcement settlement. The presentation will include candid interaction between the two presenters.
2:30 PM		Panel Discussion –  Greenhouse Gas (GHG) / Climate Change Update Henry Balikov, GEC Sustainable Solutions, Moderator
		Climate Change Legislative Update – Henry Balikov, GEC At press time, HR 2454 (Waxman Markey) is in Congress and subject to discussion.  The United Nations Climate Change Conference is in Copenhagen in December 2009.  This presentation will provide “the latest” – whatever it is!    Preparing for GHG Verification– Christina Schwerdtfeger, Coto Consulting, Inc. Many Greenhouse Gas (GHG) reporting programs require third party verification of emissions reports.  Others suggest verification; the EPA’s reporting rule does not include this requirement.  The reporting frameworks differ, as do the requirements for reporting and (if applicable) verification.  This presentation will cover highlights of regulatory criteria, and offer tips on how to prepare for a verification exercise.    Auditing Roundtable and Pew Center – Doug Hileman The Pew Center, long known for their thought leadership and keen insights on policy, presented at the Roundtable’s Fall 2009 meeting.  Thus began a collaboration with some Auditing Roundtable members and the Pew Center.  This presentation will cover the areas of collaboration, and how members can get involved.    Case Study on GHG Emissions Reporting – Daryl Whitt, RMT Inc. Companies have been working on GHG inventories and reporting for regulatory agencies, regional collaborations, emissions trading, Carbon Disclosure Project and other parties – and planning for business strategies.  One company will share their journey on GHG inventory and reporting.    A 15 Minute break will follow this session.
4:00  PM		Interest Group Break-out: Session 1 Can’t decide?  Don’t worry – each section will report to the plenary session Wednesday morning.
Venue A: Sustainability / MS Interest Group Rob Bray, The Elm Consulting Group International Roundtable Discussion			Venue B Health & Safety Interest Group: Curt Johnson, STC Prevention Through Design David Michaels has recently announced that Prevention Through Design (PTD) will be one of his top 6 areas of focus for OSHA. PtD uses the techniques of hazard identification and risk assessment in design/redesign, to ensure that hazards are eliminated or minimized from the outset.  This session will discuss the national initiative currently being spearheaded by NIOSH to promote the approach of eliminating or reducing risk at the design phase of projects.  Presenter: Debby Shewitz, CSP Shewitz Consulting, LLC	Venue C Risk-based Auditing – The Impact of International Standards-Thea Dunmire, ENLAR Compliance Services There are a number of international standards that include discussions of risk, risk management, risk-based auditing and audit risk.  This includes ISO 31000, ISO 19011 and OHSAS 18001.  In some cases, these standards are pulling concepts from other fields such as insurance, loss prevention and financial auditing.   This break-out session will focus on discussing the concepts of risk-based auditing, risk management, audit sampling and audit risk that are proposed for inclusion in the ISO 19011 management system auditing standard and how these concepts may impact EHS audit programs in the future.
5:00 PM	Interest Group Break-out: Session 2
Venue A: Greenhouse Gas Interest Group Discussion of individual member’s progress on the Federal Green House Gas reporting requirements. Henry Balikov, GEC			Venue B Auditor Resources Interest Group	Venue C Sneak Peak at Training Course: Health & Safety Auditing Skills Tom Rigg, BNSF Railway Presentation introducing the AR’s training program and the first 3 courses – designed to prepare for BEAC’s certification exam.  In addition, a clip from the DVD version of one course along with a demo of a potential interactive learning format.
6:00 PM	Adjourn for the day
	Free Evening-No Event Scheduled

 

Wednesday January 13, 2010   MC: Joe Cotier, STC
7:30 AM	Breakfast
8:15 AM	Keynote: Larry Person, Sr. Environmental Coordinator, City of Scottsdale
8:45 AM	Title:  Breakout Group Report Card
	Take-Aways, Updates and Upcoming Activities:  For two days, we’ve had a dozen break-out groups.  We’ve figured out how our members can be in three places at once!  A spokesperson from each interest group will share highlights of their discussions, resources, and upcoming activities.
9:30 AM	Workshops:   This morning, there will be several parallel “workshops,” providing the opportunity to focus in depth on a topic of interest.  Similar to our Interest Group break-outs, these are designed to be interactive.  Each workshop will consist of a presentation, seed questions, and discussion among attendees.  Workshop attendees will provide their own perspectives and thoughts on these issues.  Workshop participants should leave with better understanding of these issues, awareness of different perspectives, and ideas or tools to improve their programs or audits.
		Plan-Do-Check-Act Cycle – Bringing A Company Closer to Global Compliance Ted  Polakowski, Citation Technologies   A fundamental principle of Plan-Do-Check-Act is iteration – executing the cycle allows management of change to become a reality.	Company EHS Auditing Practice - Tom Rigg, BNSF   This workshop will examine one aspect of EHSS program management.	GEMI Water SustainabilityTools –Steve Rutldege, Duke Energy  This session will cover a GEMI tool in detail, in interactive mode with participants sharing practices.
11:15 AM	Planning Session:  Meetings & Content Delivery National & Regional Meetings, Webinars, and other community-building activities Meetings Steering Committee Chair
	The attendance at our planning session in September 2009 was great – and so were the suggestions.  We’ve incorporated many of those suggestions for Winter 2010  The Auditing Roundtable’s national meetings have always been the “crown jewel” in terms of content, connectivity, and value to our members.  However, with the number of mechanisms to establish and maintain connectivity with our members, we feel we should consider the national meetings in the context of these other mechanisms.  We’ll also be discussing regional meetings, webinars, and our collaborations with other groups.  Join us for a light lunch and come with suggestions – and, of course, your offer to get involved?
12:00 PM	Meeting Adjourns

 

Auditing Roundtable’s Training Courses
	Course 3:       “Health and Safety Compliance”
	Course Schedule Wednesday, January 13   1:00 PM-6:00 PM Thursday, January 14       8:00 AM-5:00 PM Friday, January 15            8:00 AM-5:00 PM Course Description: The Auditing Roundtable is pleased to introduce its new Health and Safety Compliance Auditor Training course.  This newly developed, inaugural course has been designed to provide auditors with the health and safety auditing skills consistent with updated BEAC auditing performance practices and standards. It will be an invaluable preparatory course for those working on obtaining certification as a Certified Professional Environmental Auditor.  It will also serve as an excellent refresher course for those just wishing to enhance their health and safety auditing skills. The 3 -day course will cover the following topics:   Health & Safety Legislative/Regulatory Applicability Major Regulatory Thrust of General and Construction Standards and Recordkeeping Federal OSHA/State Jurisdiction/Enforcement of Laws Regulatory Process (interim, draft, final) Ability To Determine Applicability Of Occupation Safety and Health Laws/Regulations to Typical Worker Activities and Work Place Environments at the Audited Facility Relationship of OSHA standards to: ANSI Standards,  National Electric Code, NFPA,  ASTM, ASME DOT Hazmat regulations   Occupational Safety & Health Impacts of Various Worker Activities and Work Place Environments and Related Exposure Reducing Practices and Technologies Typical Health & Safety Exposures Generated by Various Work Place Activities & Environments Exposure Thresholds that Trigger Compliance Requirements General Concepts of Operation of Engineering, Administrative, & Personal Protective Equipment Practices and Technologies Typical Compliance Related Requirements Associated with Engineering, Administrative, & Personal Protective Equipment Practices & Technologies   Health & Safety Specific Regulatory Knowledge (29 CFR 1910 and 1926)        1910 - Occupational Safety & Health Standards (General Industry) Injury/Illness Recordkeeping Hazard Communication Emergency Action Planning Respiratory Protection Hearing Conservation Control of Hazardous Energy Confined Space Entry Blood borne Pathogens Ergonomic Programs Laser Safety Laboratory Safety Management Process Safety Management Radiation Safety Walking - Working Surfaces Powered Platforms, Man lifts, and Vehicle-Mounted Work Platforms Occupational Health and Safety Environmental Controls Hazardous Materials Personal Protective Equipment General Environmental Controls Medical and First Aid Fire Protection Compressed Gas and Compressed Air Equipment Materials Handling and Storage Machinery and Machine Guarding Hand and Portable Powered Tools and Other Hand-Held Equipment Welding, Cutting and Brazing Special Industries Electrical Construction Safety   Note. This auditing skills course does not include the basic auditing skills knowledge or the environmental media technical knowledge that are provided in separate training courses which are also offered by the Auditing Roundtable. Instructor: Jeffrey C. Camplin, CSP, CPEA   CEU Credit: BEAC-18 CPD hours Others-TBD   Cost: Attendance is limited to a maximum of 30 people so early registration is encouraged. The cost for the 2 ½ -day course, is: ·         $795 Members ·         $895 Affiliate Members ·         $995 Non-Members